Search for: "Securities and Exchange Commission v. Fiscal Fund"
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10 May 2024, 6:45 am
See NCAA v. [read post]
19 Apr 2024, 9:27 am
The Securities and Exchange Commission (“SEC”) approved 11 spot Bitcoin exchange-traded funds (“ETFs”) on January 10, 2024, marking a historic moment in the crypto industry. [read post]
11 Apr 2024, 4:57 am
Securities and Exchange Commission officials convened at the SEC Speaks Conference in Washington, D.C., to discuss the Commission’s accomplishments in fiscal year 2023 and announce its priorities for 2024. [read post]
14 Mar 2024, 9:08 am
Securities and Exchange Commission (“SEC”) adopted its own final climate disclosure rule on March 6. [read post]
12 Mar 2024, 9:05 pm
Business groups have used the doctrine to challenge the Consumer Financial Protection Bureau’s (CFPB) fair lending lending policies and the private fund industry has challenged a Securities and Exchange Commission (SEC) rule that applies to such funds. [read post]
22 Jan 2024, 9:01 pm
You are probably well acquainted with its successor, rule 506.[2] Prior to the adoption of former rule 146 in April 1974, the Commission did not have rules interpreting section 4(2) of the Securities Act.[3] As a result, issuers faced uncertainty in determining whether a sale of securities did not involve “any public offering” and in applying case law on the topic, including the Supreme Court’s decision in SEC v. [read post]
4 Jan 2024, 12:09 pm
Attorney General determines that public disclosure would be a substantial threat to national security or public safety, the Securities and Exchange Commission (SEC) requires that public companies must report a cyber incident, typically by filing a publicly available Form 8-K, within: a. [read post]
18 Dec 2023, 2:48 pm
On November 20, 2023, the Securities and Exchange Commission (“SEC”) charged Payward Inc. and Payward Ventures Inc., together known as Kraken, with operating Kraken’s trading platform as an unregistered securities exchange, broker, dealer, and clearing agency. [read post]
13 Dec 2023, 4:54 am
A U.N. commission of inquiry already examining war crimes in Israel and the occupied Palestinian territories said its investigation would probe accusations of sexual violence and provide evidence to the International Criminal Court, although Israel has refused to cooperate with such investigation as it accuses the U.N. of being bias. [read post]
29 Nov 2023, 9:01 pm
Securities and Exchange Commission’s (“SEC” or “Commission”) Division of Enforcement (“Division”) announced its enforcement results for fiscal year (“FY”) 2023.[1] Disgorgement and penalties were the second highest in the SEC’s history at just under $5 billion, while the overall number of actions rose by 3% over FY 2022. [read post]
19 Nov 2023, 6:30 am
Introduction The end of September marked the close of the 2023 fiscal year for the United States Securities and Exchange Commission (the “SEC”). [read post]
19 Nov 2023, 6:30 am
Introduction The end of September marked the close of the 2023 fiscal year for the United States Securities and Exchange Commission (the “SEC”). [read post]
13 Nov 2023, 9:05 pm
”[22] The Analytic Framework retains the non-exhaustive list of asset classes, institutions, and activities included in the proposal, but adds “private funds” to the list in response to “comments suggesting the addition of further examples. [read post]
3 Nov 2023, 11:14 am
In Securities & Exchange Commission v. [read post]
3 Nov 2023, 11:09 am
In Securities & Exchange Commission v. [read post]
24 Oct 2023, 9:01 pm
We did this frequently this past fiscal year.[12] The Commission’s public orders describe the kinds of steps that companies took to obtain this type of cooperation credit. [read post]
24 Sep 2023, 9:01 pm
A foreign principal or Relevant Chinese Person has a de minimis indirect interest if “any ownership is the result of [their] ownership of registered equities in a publicly traded company owning the land and if [their] ownership interest in the company is either: (a) less than 5 percent of any class of registered equities or less than 5 percent in the aggregate in multiple classes of registered equities; or (b) a noncontrolling interest in an entity controlled by a company that is both… [read post]
20 Jun 2023, 9:28 am
Because it was a fiscal session, the Louisiana Legislature enacted a number of key tax changes in the 2023 Regular Session that concluded on June 8, 2023. [read post]
23 Apr 2023, 9:01 pm
It also established this important agency I’m honored to chair, the Securities and Exchange Commission. [read post]
1 Feb 2023, 9:01 pm
The passage of the Securities Act and the Exchange Act, and the authority that Congress gave to the Commission, reflected an intentional and marked departure from that dark default. [read post]
